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Showing 51 - 60 of 138 results for "ASIC Act"

Court makes orders in ASIC versus TAL

KANIKA SOOD | WEDNESDAY, 10 MAR 2021

... separate declarations about aspects of TAL's conduct it saw as misleading, deceptive and in contraventions of the ASIC Act, Corporations Act and Insurance Contracts Act. The court documents also show in January 2021, TAL's lawyers Gilbert+Tobin ...

ASIC pursues criminal charges in super

JAMIE WILLIAMSON | WEDNESDAY, 10 MAR 2021

... against Rest and Statewide Super, ASIC is seeking pecuniary penalties, alleging the funds breached the Corporations Act and ASIC Act. In December 2020, the Financial Sector Reform (Hayne Royal Commission Response) Bill was passed, delaying the ban on ...

ASIC drags CommSec to court

ELIZABETH MCARTHUR | MONDAY, 1 MAR 2021

... failures at the trading platform and that CommSec and AUSIEX breached the market integrity rules, Corporations Act and ASIC Act. ASIC alleges the conduct spanned a significant period of time and involved failures across multiple systems and business ...

CBA guilty of deceptive conduct

ELIZA BAVIN | WEDNESDAY, 17 FEB 2021

... customers were advised. The Court also made a declaration that on each of the 12,119 occasions that CBA breached the ASIC Act, it also breached its general obligation as a financial services licensee to comply with financial services laws, in contravention ...

ASIC winds up Mayfair 101 debenture issuer

ELIZABETH MCARTHUR | MONDAY, 1 FEB 2021

ASIC has succeeded in winding up the issuer of Mayfair 101's debenture products, with the Federal Court ordering M101 Nominees to wind up. The is the first outcome arising from ASIC's ongoing actions against Mayfair 101 Group and its director James ...

ASIC detects imposter bond scam

ANNABELLE DICKSON | THURSDAY, 28 JAN 2021

The corporate regulator is warning investors of scam bond investment operations targeting Australian investors with claims of high yield bond investments. The scammers are claiming to be from reputable domestic and international financial firms when ...

Design, distribution obligations guide released

KARREN VERGARA | FRIDAY, 11 DEC 2020

The regulatory guide on product design and distribution obligations for the financial services industry has been released. ASIC's RG 274 Product design and distribution obligations aims to help consumers obtain appropriate financial products by ...

ASIC consults on consumer remediation

ELIZABETH MCARTHUR | THURSDAY, 3 DEC 2020

ASIC has released a consultation paper to update the regulatory guide on client review and remediation conducted by financial advice licensees. Regulatory Guide 256: Client review and remediation conducted by advice licensees will be clarified through ...

Funds management in ASIC spotlight

ELIZA BAVIN | THURSDAY, 19 NOV 2020

The review of competition in the Australian funds management industry is officially underway between the corporate regulator and Deloitte Access Economics. ASIC acting chair Karen Chester said the review seeks to identify where "competition is effective ...

Westpac settles two class actions

KARREN VERGARA | FRIDAY, 30 OCT 2020

... agreement are confidential. In 2018, the Australian Federal Court ordered the bank pay $3.3 million for contravening the ASIC Act for its involvement in the scandal.

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BT appoints new head of strategy

KARREN VERGARA

A former Allianz Retire+ executive has joined BT as the new head of strategy.

ASX sees trade volumes soar in May

MATTHEW WAI

ASX saw a substantial growth in trade volumes last month, despite continued lackluster movement in IPOs.

Otivo launches AI-powered financial advice

MATTHEW WAI

Otivo has launched a mobile app for Australians to access licensed advice powered by AI.

Munro expands access to climate focused fund

VINNY VUCAGO

The Munro Global Growth Climate Leaders PIE Fund has been opened to retail investors in New Zealand.

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